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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060737301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ming Dang (Respondent) Former Investment Banking Representative CRD No. 5547457 Pursuant to FINRA Rule 9216, Respondent Ming Dang submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062406701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Anthony Simone (Respondent) General Securities Representative CRD No. 1623827 Pursuant to FINRA Rule 9216, Respondent Philip Anthony Simone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.